Gerald Tufts & Theresa Cumbers

Findings — machine-extracted (anthropic-batch:claude-opus-4-8); verify against the decision

Two unadmitted clerks at Stanger Krol & Co., responsible for providing investment advice, placed the firm in breach of important practice and investment business rules, including conducting investment business without direct supervision and failing to specify commission. The Tribunal made orders under Section 43(2) of the Solicitors Act 1974 restricting their future employment within the profession and ordered each to pay £400 costs (total £800). No dishonesty was found.

Duties found breached:

• No conflict between current clients

Mitigating factors:

• Admissions made by both respondents